If you’re exploring technology to manage your branch audit program, chances are you already know what’s not working — spreadsheets, shared drives, and disjointed processes that leave too much room for error. But what should you be looking for in a branch audit solution?

At Quest CE, we partner with compliance teams responsible for supervising OSJs, non-OSJs, RSLs, and branch offices — and we’ve seen firsthand the common roadblocks firms face when trying to streamline their audit programs. Below, we’re breaking down the most common questions we receive from prospects evaluating audit tools — and how our platform is built to solve them.

1. How do we keep audits consistent across multiple branches?

When different supervisors conduct audits using different methods, it creates inconsistencies that are difficult to defend during regulatory exams. Quest CE’s platform standardizes checklists, workflows, and reports so that every audit — regardless of location or auditor — follows the same structure. This creates a reliable audit trail and ensures uniform compliance oversight.

2. How do we manage different audit types — and choose the right questionnaire for each branch?

Firms often juggle multiple audit types — OSJ, non-OSJ, RSL, and branch office reviews — and many teams aren’t sure which questionnaire to assign. Our tool is built with this structure in mind and makes it easy to stay organized and compliant.

Here’s a quick breakdown of the four audit types:

  • OSJ (Office of Supervisory Jurisdiction): Typically subject to the most rigorous review standards, OSJs supervise the activities of associated personnel and branch offices under their jurisdiction.
  • Non-OSJ Branches: While still conducting business, these branches don’t carry OSJ authority and may require a different level or frequency of review.
  • RSL (Residential Supervisory Location): A newer category introduced by FINRA Rule 3110.19, RSLs are residential locations where supervisors work and may be eligible for tailored inspection protocols.
  • Branch Offices: This general category includes locations where one or more associated persons regularly conduct securities business and that don’t fall under the OSJ or RSL definitions.

With Quest CE, each branch type is clearly designated, and the correct questionnaire is automatically applied — eliminating confusion and ensuring each location is reviewed according to both your and FINRA’s expectations.

3. Can we schedule audits and track due dates automatically?

Manual tracking increases the risk of missed reviews — which regulators don’t take lightly. With Quest CE, you can schedule recurring audits by location, set task reminders, and view upcoming deadlines on a centralized dashboard. Automated email alerts help keep assigned auditors and branch managers accountable throughout the process.

Right when you login, you see an easy-to-view visual calendar that displays all upcoming audits and the tool also color codes audit by status and time-stamps when the last audit took place.

4. How do we document and follow up on audit findings?

Completing the audit is only half the battle. Regulators expect clear documentation of follow-up activity. Our platform allows you to assign remediation tasks, timestamp when they’re completed, and track outstanding items through resolution. Everything is stored in one place — no spreadsheets or email chains required.

5. What if we need to conduct remote inspections?

The rise of hybrid work has made it harder to perform every inspection in person. Quest CE’s Remote Inspection Identification feature allows you to designate whether an audit is being conducted on-site or remotely. This creates a clear record of your methodology — especially important under FINRA Rule 3110.18 or 3110.19.

The system also has an offline sync capability, allowing auditors to connect even when an internet connection is not available.

6. How fast can we get this up and running?

We know onboarding a new system can feel like a hassle. That’s why we provide a dedicated Account Executive to guide you every step of the way — from setup to training and support. Whether you need help with SSO integration, data imports, or customizing your audit templates, we make sure you’re ready to launch quickly.

7. Can we tailor the platform to fit our firm’s process?

Yes — and that’s one of our biggest differentiators. Our platform is flexible and customizable. You can configure audit checklists, workflows, escalation protocols, and reporting outputs to match your firm’s existing policies. That means the tool supports your process — not the other way around.

Your Audit Program, Upgraded

Whether you’re looking to strengthen documentation, stay organized across audit types, or move away from outdated tools, Quest CE’s Branch Audit platform is built for modern compliance teams. If any of the above questions hit home, let’s talk about how we can help.

To schedule a personalized demo, reach out to us here.